Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
team Ability to travel 50% of the time A valid and active FINRA Series 7, 66 (or equivalent) is required A valid... and active FINRA Series 9/10 (or equivalent) is required and must be obtained or retained within a 60 day condition of employment...
). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal...
Certifications No Required Certification(s) Licenses FINRA Series 7 and 66 (or 63,65) required. Life and Health Insurance... Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
guidance and oversight to ensure all activities align with FINRA, SEC, NFA, and CFTC regulations and firm policies. Your deep... awareness across the business. Qualifications: 5-10 years of relevant compliance or supervisory experience in a FINRA...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
with a desire to succeed. Life insurance license and FINRA certifications (or willingness to obtain). Our Unique Angle...
Required FINRA Registrations SRC Indicator: Series 7;Series 63 Licenses and Certifications Life and Health Insurance License...